1. Purpose. To assist the Regional offices in giving advice to States in
formulating the statistical and recordkeeping portions of their proposed
18(b) plans.

2. Explanation

A. Continuing Statistical Program

Section 24 of the Occupational Safety and Health Act of 1970 requires the
Secretary of Labor to "develop and maintain an effective program of
collection, compilation, and analysis of occupational safety and health
statistics," This goal is to be effectuated by requiring that "employers
shall file such reports with the Secretary as he shall prescribe by
regulation, as necessary to carry out the functions of this Act. "

The Secretary has delegated the responsibility to administer this program to
the Bureau of Labor Statistics. However, Section 24 also provides for
agreement with States whereby they may administer such statistical programs
in partnership with BLS. The scope of State industry coverage under such
agreements must be the same as Federal coverage.

B. State Plan Requirements for Recording and Reporting.

Section 18(c)(7) requires a State, as a prerequisite for plan approval, to
require employers in the State to make reports to the [U.S.] Secretary in the
same manner and to the same extent as if the plan were not in effect." The
Secretary's regulations, 29 CFR 1902.3(k), expands this requirement by
obligating States to require employers not only to make reports but also to
maintain records in the same manner and to the same extent as if the plan
were not in effect.

OSHA Instruction October 30, 1978 -2-

The recordkeeping requirement was a necessary addition. The Federal
recordkeeping requirements of Section 8 will cease to be applicable upon
final State Plan approval pursuant to Section 18(e). However, the
Secretary's responsibility under Section 24 to collect reports will not be
suspended by a Section 18(e) determination. Because Section 24(e) requires
that such reports be made "on the basis of records made and kept pursuant to
Section 8(c)", the State enforcement of the reporting requirement will
necessitate enforcement of the recordkeeping provisions

C. Significance of Participation in BLS Program with Regard to
State Obligations Under 18(c)(7)

State participation in the BLS statistical grant program (as it is presently
constituted) will contribute significantly toward the State's capacity to
fulfill the statistical report requirement of 1902.3(l). However, it will not
satisfy the recordkeeping or enforcement aspects of 1902.3(k). Consequently,
regardless of whether a State has a BLS statistical grant, it must by law or
regulation require employers to maintain Federally defined records. Where
the State has a BLS statistical grant, its regulations must mandate employers
to forward required reports to the State grantee agency; where the State does
not have a BLS statistical grant, its regulations must mandate employers to
forward required reports to BLS. This State enforcement is only required to
extend to `issues' covered by the State plan. Establishments not covered by
the Plan will continue to be subject to Federal enforcement.

The State enforcement must require employers to maintain records and make
reports in the same manner and to the same extent as if the plan were not in
effect. This strict language of 18(c)(7), especially when contrasted with the
more flexible "at least as effective as" language of 18(c)(2) and 18(c)(3)
shows a clear Congressional intent to prohibit States from altering Federal
recorkeeping and reporting regulations.

This strictness is mandated by the nature of statistical information. A
statistic achieves its primary relevance only when coordinated with other
statistics to form a larger framework of information. Valid conclusions may
be drawn only when facts with a common base of significance are coherently
coordinated. Because the coordination process requires uniformity and
control, even slight deviations are undesirable. Hence, 1902.3(k) is
interpreted to require States to enforce Federal recordkeeping and reporting
regulations

Because States must enforce these regulations in the same manner and to the
same extent as if the Plan were not in effect, States are prohibited from
granting recordkeeping or reporting variances. Such variances must be
obtained through BLS. All such variances granted by BLS must be respected by
the enforcing State.

OSHA Instruction STP 2-1.12 October 30. 1978

- 3-

These limitations need not stifle State initiative in this area. The need
for accurate and consistent national data to comply with the requirements of
Section 24 is self-evident. Where the State has additional data needs in more
effectively managing its own occupational safety and health program, the
State is free to develop supplementary recording and reporting data. Such
supplementary data from employers must be cleared with and approved by the
Bureau of Labor Statistics prior to implementation to ensure that they do not
interfere with Federal recordkeeping + a reporting requirements.

With reference to supplementary data from employers, some States are
doubtless interested in the proposed changes to Part 1904 of the regulations
which would permit an employer who has had no more than seven employees at
any one time during the calendar year immediately preceding a current
calendar year to be exempt from some aspects of this Part. States wishing to
cover all employers, regardless of size, by the full range of Part 1904
recordkeeping requirements may do so where, in the judgement of the State,
these requirements will be consistent with the provision that information "be
obtained with a minimum burden upon employers, especially those operating
small businesses. " (Section 8(d) of the Act.)

D. Developments Plan Implications

In formulating its 18(b) plan in relation to both 29 CFR Section 1902.3(k)
and (l), the State may be developmental. With reference to participation in
its statistical grant programs, the Bureau of Labor Statistics is strongly
urging the States to attain a full level of operations in both the national
sample effort and the State data supplementation program as quickly as
possible. Such rapid accomplishment of goals is to the advantage of the
States since it will permit them to establish the baselines necessary for
State program evaluation as required under Section 18(f) of the Act and
Section 1902.3(l) of the Regulations. In developing their procedures for
ensuring employer compliance with recordkeeping and reporting requirements,
the States will also wish to act promptly to ensure that essential data on
actual occupational safety and health performance by employers will be
available on a timely basis. Prompt and full participation by any State in
the BLS Statistical grant program is to the benefit of both the State and
OSHA and is to be encouraged. The fact remains, however, that Section
1902.2(b) clearly provides that States may be developmental for up to three
years in assuming full responsibility for the recordkeeping and reporting
requirements of Section 1902.3(k) and the statistical reports of Section
1902.3(l).

OSHA Instruction STP 2-1.12 October 30, 1978

-4-

3. Action. ARA's for State Programs should make the contents of this
directive available to State designees.

To avoid confusion over statistical programs and recordkeeping and reporting
compliance activity, the Assistant Regional Administrators for State Programs
should encourage contacts between State designated agencies and regional and
national BLS staffs to ensure frequent exchange of information. Problems
noted during such contacts should be promptly forwarded to the Office of
State Programs

In their contacts with States on the subjects of statistical programs and
recordkeeping and reporting activity, Assistant Regional Administrators for
State Programs should call the attention of the States to the special area of
recordkeeping and reporting on injuries and illnesses of public employees. To
the extent that its plan covers such employees, a State will wish to develop
statistical and recordkeeping and reporting techniques to aid in the
management and evaluation of the public employee occupational safety and
health program; OSHA concepts, definitions, and data requirements utilized in
the private sector should be applied to the public sector.

4. Filing This directive is effective immediately and will continue in
force until rescinded

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